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BRISTOL MYERS SQUIBB CO

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0000014272
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2,253

Last 12 months

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0 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202602
May 202600
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Aug 202601
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 10, 2018 Filed Mar 13, 2018 20:55 UTC Exercise / conversionMarket Share Units · Derivative 354 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · derivative · entry 17

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 708

Underlying: Common Stock, $0.10 par value · 354 shares

Expires 2020-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F5 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2016.

F5 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2016.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC Exercise / conversionMarket Share Units · Derivative 274 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · derivative · entry 16

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277

Underlying: Common Stock, $0.10 par value · 274 shares

Expires 2019-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F4 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2015.

F4 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2015.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC Exercise / conversionMarket Share Units · Derivative 333 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · derivative · entry 15

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 333 shares

Expires 2018-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F1 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2014.

F1 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2014.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC Tax withholdingCommon Stock, $0.10 par value 1,040 $67.92 $70,636.80
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · nonDerivative · entry 14

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,416

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC Exercise / conversionCommon Stock, $0.10 par value 3,036 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · nonDerivative · entry 13

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,456

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · shares: Amount represents distribution of performance shares earned under the 2015-2017 Long-Term Performance Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC Tax withholdingCommon Stock, $0.10 par value 166 $67.92 $11,274.72
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · nonDerivative · entry 12

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,420

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC OtherCommon Stock, $0.10 par value 73 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · nonDerivative · entry 11

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,586

F2 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC Exercise / conversionCommon Stock, $0.10 par value 410 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · nonDerivative · entry 10

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,513

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2017.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC Tax withholdingCommon Stock, $0.10 par value 127 $67.92 $8,625.84
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · nonDerivative · entry 9

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,103

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC OtherCommon Stock, $0.10 par value 15 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · nonDerivative · entry 8

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,230

F2 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC Exercise / conversionCommon Stock, $0.10 par value 354 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · nonDerivative · entry 7

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,215

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2016.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC Tax withholdingCommon Stock, $0.10 par value 100 $67.92 $6,792.00
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · nonDerivative · entry 6

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 861

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC OtherCommon Stock, $0.10 par value 16 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · nonDerivative · entry 5

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 961

F2 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC Exercise / conversionCommon Stock, $0.10 par value 274 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · nonDerivative · entry 4

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 945

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2015.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC Tax withholdingCommon Stock, $0.10 par value 141 $67.92 $9,576.72
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · nonDerivative · entry 3

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 671

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC OtherCommon Stock, $0.10 par value 76 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · nonDerivative · entry 2

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 812

F2 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC Exercise / conversionCommon Stock, $0.10 par value 333 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000081 · wf-form4_152097450962749.xml · nonDerivative · entry 1

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 736

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2014.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
GrantPerformance Shares · Derivative 16,761 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · derivative · entry 21

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,761

Underlying: Common Stock, $0.10 par value · 16,761 shares

Expires 2021-03-10

F11 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2021.

F11 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2021.

F11 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2021.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionPerformance Shares · Derivative 25,625 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · derivative · entry 20

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 25,625 shares

Expires 2018-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F10 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2018, subject to a Total Shareholder Return modifier.

F7 · shares: Amount represents distribution of performance shares earned under the 2015-2017 Long-Term Performance Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board.

F10 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2018, subject to a Total Shareholder Return modifier.

F10 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2018, subject to a Total Shareholder Return modifier.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
GrantMarket Share Units · Derivative 11,174 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · derivative · entry 19

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,174

Underlying: Common Stock, $0.10 par value · 11,174 shares

Expires 2022-03-10

F8 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F9 · derivative.exercise_date: Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date.

F9 · derivative.expiration_date: Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionMarket Share Units · Derivative 3,169 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · derivative · entry 18

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,508

Underlying: Common Stock, $0.10 par value · 3,169 shares

Expires 2021-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F6 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2017.

F6 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2017.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionMarket Share Units · Derivative 2,492 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · derivative · entry 17

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,984

Underlying: Common Stock, $0.10 par value · 2,492 shares

Expires 2020-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F5 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2016.

F5 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2016.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionMarket Share Units · Derivative 2,318 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · derivative · entry 16

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,318

Underlying: Common Stock, $0.10 par value · 2,318 shares

Expires 2019-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F4 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2015.

F4 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2015.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionMarket Share Units · Derivative 2,440 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · derivative · entry 15

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 2,440 shares

Expires 2018-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F1 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2014.

F1 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2014.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 12,621 $67.92 $857,218.32
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · nonDerivative · entry 14

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,748.72

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 25,625 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · nonDerivative · entry 13

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,369.72

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · shares: Amount represents distribution of performance shares earned under the 2015-2017 Long-Term Performance Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 1,841 $67.92 $125,040.72
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · nonDerivative · entry 12

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,744.72

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
OtherCommon Stock, $0.10 par value 568 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · nonDerivative · entry 11

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,585.72

F2 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 3,169 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · nonDerivative · entry 10

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,017.72

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2017.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 1,280 $67.92 $86,937.60
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · nonDerivative · entry 9

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,848.72

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
OtherCommon Stock, $0.10 par value 106 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · nonDerivative · entry 8

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,128.72

F2 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 2,492 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · nonDerivative · entry 7

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,022.72

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2016.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 1,209 $67.92 $82,115.28
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · nonDerivative · entry 6

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,530.72

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
OtherCommon Stock, $0.10 par value 135 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · nonDerivative · entry 5

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,739.72

F2 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 2,318 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · nonDerivative · entry 4

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,604.72

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2015.

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March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 1,132 $67.92 $76,885.44
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · nonDerivative · entry 3

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,286.72

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

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March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
OtherCommon Stock, $0.10 par value 554 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · nonDerivative · entry 2

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,418.72

F2 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

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March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 2,440 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000084 · wf-form4_152097458106025.xml · nonDerivative · entry 1

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,864.72

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2014.

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March 10, 2018 Filed Mar 13, 2018 20:55 UTC
Lynch Thomas J. Jr.EVP & Chief Scientific Officer
GrantPerformance Shares · Derivative 35,186 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000082 · wf-form4_152097452966258.xml · derivative · entry 2

Lynch Thomas J. Jr. · CIK 0001474056 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,186

Underlying: Common Stock, $0.10 par value · 35,186 shares

Expires 2021-03-10

F3 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2021.

F3 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2021.

F3 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2021.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:55 UTC
Lynch Thomas J. Jr.EVP & Chief Scientific Officer
GrantMarket Share Units · Derivative 23,457 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000082 · wf-form4_152097452966258.xml · derivative · entry 1

Lynch Thomas J. Jr. · CIK 0001474056 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,457

Underlying: Common Stock, $0.10 par value · 23,457 shares

Expires 2022-03-10

F1 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F2 · derivative.exercise_date: Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date.

F2 · derivative.expiration_date: Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date.

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March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
GrantPerformance Shares · Derivative 112,343 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · derivative · entry 24

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,343

Underlying: Common Stock, $0.10 par value · 112,343 shares

Expires 2021-03-10

F11 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2021.

F11 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2021.

F11 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2021.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionPerformance Shares · Derivative 88,882 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · derivative · entry 23

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 88,882 shares

Expires 2018-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F10 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2018, subject to a Total Shareholder Return modifier.

F7 · shares: Amount represents distribution of performance shares earned under the 2015-2017 Long-Term Performance Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board.

F10 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2018, subject to a Total Shareholder Return modifier.

F10 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2018, subject to a Total Shareholder Return modifier.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionPerformance Shares · Derivative 77,951 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · derivative · entry 22

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 77,951 shares

Expires 2018-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F10 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2018, subject to a Total Shareholder Return modifier.

F7 · shares: Amount represents distribution of performance shares earned under the 2015-2017 Long-Term Performance Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board.

F10 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2018, subject to a Total Shareholder Return modifier.

F10 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2018, subject to a Total Shareholder Return modifier.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
GrantMarket Share Units · Derivative 74,895 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · derivative · entry 21

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,895

Underlying: Common Stock, $0.10 par value · 74,895 shares

Expires 2022-03-10

F8 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F9 · derivative.exercise_date: Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date.

F9 · derivative.expiration_date: Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionMarket Share Units · Derivative 21,442 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · derivative · entry 20

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,327

Underlying: Common Stock, $0.10 par value · 21,442 shares

Expires 2021-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F6 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2017.

F6 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2017.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionMarket Share Units · Derivative 18,183 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · derivative · entry 19

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,367

Underlying: Common Stock, $0.10 par value · 18,183 shares

Expires 2020-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F5 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2016.

F5 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2016.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionMarket Share Units · Derivative 7,051 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · derivative · entry 18

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,052

Underlying: Common Stock, $0.10 par value · 7,051 shares

Expires 2019-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F4 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2015.

F4 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2015.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionMarket Share Units · Derivative 5,702 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · derivative · entry 17

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 5,702 shares

Expires 2018-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F1 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2014.

F1 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2014.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Tax withholdingCommon Stock, $0.10 par value 43,703 $67.92 $2,968,307.76
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · nonDerivative · entry 16

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,267.333

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionCommon Stock, $0.10 par value 88,882 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · nonDerivative · entry 15

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333,970.333

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · shares: Amount represents distribution of performance shares earned under the 2015-2017 Long-Term Performance Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.